Federal Regulation
Get the latest news and insights on regulatory developments affecting financial advisors and the stock market and trading, including news about the SEC, DOL, IRS and the Financial Industry Regulatory Authority.
SEC Charges Theranos, CEO and Former President With Fraud: Enforcement
By Emily ZulzIn other enforcement actions, an insurance agent is arrested in California in a $1.6 million fraud scheme targeting elderly.
March 15, 2018
SEC Fiduciary Rule Likely to Address Broker, Advisor Titles: Peirce'It's been time for decades' for the SEC to write a fiduciary rule, Republican commissioner Hester Peirce said at the IAA compliance conference.
March 14, 2018
SEC Proposes to Amend Open-End Funds' Liquidity RequirementsUnder the plan, funds would discuss in their annual report the operation and effectiveness of their liquidity risk management program.
March 14, 2018
The Critical Question Regulators Need to Answer About CryptocurrencyThe SEC and CFTC need to determine what makes a crypto token a commodity or a security, lawmakers say.
March 14, 2018
Former Equifax Exec Charged With Insider TradingThe SEC accused the former executive of capitalizing on confidential company information to cash in his stock options in advance of Equifax's public announcement of a massive data breach.
March 12, 2018
Lawmakers Push Back on Potential SEC Mandatory Arb ClausesSEC Commissioner Jackson, Investor Advocate Fleming also raise concerns
March 09, 2018
FINRA Updates Business Continuity, Disaster Recovery GuidanceFirms reporting a "significant volume" of transactions in Treasury securities must now participate in FINRA's annual business continuity and disaster recovery test.
March 09, 2018
Pump-and-Dumpers Busted in FBI Sting: EnforcementIn another enforcement action, Voya advisors agrees to repay clients $2 million.